Comptroller's Decisions and Orders
In most enforcement litigation, the Comptroller of the Currency does not issue an order until after the presiding administrative law judge has issued a recommended decision and certified the record and Enforcement Counsel and Respondent(s) have filed exceptions to the recommended decision. See 12 CFR 19.38-40 (national banks) and 109.38-109.40 (federal savings associations).
Final Decisions
The Comptroller issues final decisions after the presiding administrative law judge issues a recommended decision and certifies the record and Enforcement Counsel and Respondent(s) have filed exceptions to the recommended decision. See 12 CFR 19.38-40 (national banks) and 109.38-109.40 (federal savings associations).
Interlocutory or Non-Dispositive Orders
OCC rules allow for Enforcement Counsel or Respondent(s) to move for an interlocutory review of an administrative law judge ruling by the Comptroller prior to the certification of the record. See 12 CFR 19.28 (national banks) and 12 CFR 19.208 (federal savings associations). The Comptroller may review the administrative law judge's ruling when certain criteria are met and issue an order.
The Comptroller may issue other orders in accordance with his or her authority over the proceeding. See 12 CFR 19.4 (national banks) and 109.4 (federal savings associations).
Comptroller's Decisions and Orders1
Comptroller's Decisions and Orders are accessible by clicking on the links in the table below.
Note: The litigation in which the orders below were issued may be ongoing.
Case Number | Case Name | Interlocutory or Non-Dispositive Orders | Final Decisions and Orders |
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AA-EC-2018-20 |
In the Matter of Laura Akahoshi, former Chief Compliance Officer, Rabobank, N.A., Roseville, California |
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AA-EC-2020-38 |
In the Matter of Biagio Maffettone, Former Vice President and Home Mortgage Area Manager, Citizens Bank, N.A., Providence, Rhode Island |
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AA-EC-2014-90 |
In the Matter of James E. Plack, individually and as a former institution-affiliated party of American Bank, Rockville, Maryland |
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AA-EC-2017-44; |
In the Matter of Saul Ortega, Former Chief Financial Officer, Director, President, Chief Executive Officer, and Chairman of the Board |
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AA-EC-2020-39 |
In the Matter of Denton Douglas, Former Vice President of Business Banking, PNC Bank, N.A. |
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AA-EC-2019-58 |
In the Matter of Christopher Sangster, former Branch Manager, South Central Bank, N.A. Chicago, Illinois |
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AA-EC-2021-11 |
In the Matter of Derline Cunningham, Former Retail Branch Manager and Officer, Citizens Bank, N.A. |
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AA-EC-2021-22 |
In the Matter of Addisha Jackson, Former Customer Service Representative, JPMorgan Chase Bank, National Association |
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AA-EC-2021-04 | In the Matter of Jacqueline Brown, Former Senior Loan Processor, GN Bank, Chicago, Illinois |
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